CIS 17.2 Information and documents which should be supplied with a notification under section 264 of the Act

1. (1)

   If the operator of a scheme constituted in a EEA State gives notice to the FSA under section 264 of the Act, as described in that notice is required to contain or be accompanied by certain information as described in CIS 17.2.1 G (2)to (4) (see the [Financial Services Markets Act 2000 (Collective Investment Schemes Constituted in Other EEA States) Regulations 2001 (SI 2001/2383)).

2. (2)

   The documents must be in English, or accompanied by a translation in English.

3. (3)

   The documents must be certified by the operator to be true copies of the original.

4. (4)

   The following information and documentation must be provided:

   1. (a)

      name of scheme;

   2. (b)

      legal form of scheme;

   3. (c)

      name and address of operator;

   4. (d)

      the address of the place in the United Kingdom for the service on the operator of notices or other documents;

   5. (e)

      the name and address of any supervisory authority or authorities to which the operator is subject in the EEA State in which it is established;

   6. (f)

      whether the operator intends to market the scheme in the United Kingdom in a manner which will involve it carrying on a regulated activity in the United Kingdom;

   7. (g)

      name and address of depositary;

   8. (h)

      the address in the United Kingdom where the scheme facilities (see CIS 17.4) will be maintained;

   9. (i)

      details of the arrangements for the marketing of units in the United Kingdom, namely:1

      1. (i)

         the proposed commencement date;

      2. (ii)

         whether the units or shares will be sold by or through: any employed sales force; authorised persons; or unsolicited calls;

   10. (j)

       any order or certificate from the authorities of the EEA State in which the scheme is authorised which demonstrates that the scheme complies with the UCITS directive;

   11. (k)

       a copy of the instrument constituting the scheme;

   12. (l)

       a copy of the prospectus and simplified prospectus of the scheme; and

   13. (m)

       a copy of the latest annual report and any subsequent half-yearly report.

Whenever a change occurs in the information supplied or in a document supplied under CIS 17.2.1 G, the FSA wishes to be notified of these changes.